Conservation Assessment Program Guidelines and App

October 3, 2011

Dear Colleague:

PL
E

This booklet contains the 2012 Conservation Assessment Program (CAP) Guidelines and Application.
CAP is administered by Heritage Preservation and supported through a cooperative agreement with the
Institute of Museum and Library Services (IMLS). CAP was developed to enable eligible museums to
obtain a general conservation assessment of their collections and facilities. More than 2,500 museums have
participated in CAP since 1990, and we hope to assist your museum this year.
The CAP Application and Guidelines are also available online at www.heritagepreservation.org/CAP.
Applications may be submitted either via the online form or by mail. E-mailed or faxed applications are
not accepted. Regardless of the application format you choose, remember to complete the application in
full and keep a hard copy for your records.

SA
M

Applications will be accepted until the postmark deadline of 11:59pm on December 1, 2011. Applications
will be reviewed as they are received and eligible museums will be notified of their acceptance within six
weeks. Many museums are seeking to participate, so we strongly encourage you to submit your application
as soon as possible.
Participants will be able to begin planning their assessments upon official notification of acceptance into
CAP and will have from January 1, 2012 to November 1, 2012 to complete the program (see page vii).
Please also review the Assessment Costs section on page vii. Note that participants may need to use their
own funds to meet full assessment costs.
If you have questions or need assistance as you complete the application, contact the CAP staff at
202-233-0800 or [email protected]. We look forward to working with you!
Sincerely,

Sara Gonzales
Program Coordinator

Teresa Martinez
Program Assistant

1012 14th St. NW • Suite 1200 • Washington, DC 20005 • 202-233-0800 • www.heritagepreservation.org

Table of Contents

PL
E

Guidelines
What is the Conservation Assessment Program (CAP)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v
Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v
ReCAP Eligibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .vii
Assessment Schedule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .vii
Assessment Costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .vii
Allocation Amounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viii
Application Information
Online Application Form . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Electronic Fill-in Application Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Steps to Complete the Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Proof of Nonprofit Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Application Deadline . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi
Application Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xii
Notification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xii

SA
M

Application Submission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii
Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Guidelines
What is the Conservation Assessment Program (CAP)?
The Conservation Assessment Program (CAP) is administered through a cooperative agreement between
the Institute of Museum and Library Services (IMLS) and Heritage Preservation. CAP provides eligible
museums with a general conservation assessment. Applications will be reviewed as they are received and eligible museums will be notified approximately six weeks after Heritage Preservation receives the completed
application.

PL
E

A general conservation assessment provides an overview of all the museum’s collections and facilities, as
well as its environmental conditions and policies and procedures relating to collections care. An assessment
of the collections, buildings and site applies to all holdings of an institution that fall under the same budget, board of directors, and museum director. The CAP report assists the institution by:
• providing recommendations and priorities for conservation action, immediate and long-term;
• facilitating the development of a long-range conservation plan for collections care and preservation;
• serving as a fund-raising tool for future conservation projects.
CAP supports a two-day site visit by a conservation professional to perform the assessment and an additional three days to write the report. For museums in historic structures at least 50 years old, CAP also supports a two-day site visit by a historic structures assessor and an additional three days to write the report.
As the preservation needs of a historic structure and of the collections it contains often differ, collaboration
between collections and historic structures assessors is vital to the assessment’s success.

SA
M

Botanical gardens and arboreta may use CAP to assess the conservation needs of both their living and nonliving collections. CAP also helps institutions with living animal collections, such as zoos and aquariums,
that do not have an assessment of the animals’ physical conditions and habitats. Institutions with fully surveyed living animal collections (such as those accredited by the AZA) may use CAP to assess the conservation needs of their non-living collections only.
A typical CAP assessment involves three core components during the two-day site visit: an introductory
interview, a walk-through, and an exit interview. Heritage Preservation has observed that when additional
staff, board members, and/or volunteers participate in the site visit, museums become more invested in
implementing the report’s suggestions. Your museum will want to give some thought to which key staff,
board members, and volunteers to involve in the assessment.

Eligibility

Eligible institutions include aquariums, arboreta, art museums, botanical gardens, children/youth museums, general museums (having two or more significant disciplines), history museums, nature centers, planetariums, science/technology centers, specialized museums (having one narrowly defined discipline), and
zoos.
To participate in CAP a museum must:
• be a permanent institution dedicated to essentially educational or aesthetic purposes
• care for and own or use tangible objects, whether animate or inanimate, and exhibit these objects
on a regular basis through facilities it owns or operates
2012 CAP Application v

• have at least one professional staff member or the full-time equivalent, whether paid or unpaid,
whose responsibilities relate solely to the museum’s administration and operations. If a museum
does not have a full-time professional staff member, it may be eligible if it can demonstrate in
the application that it has the full-time equivalent: one or more staff members who conduct
professional museum activities. Professional museum activities include responsibilities that relate
to the governance, administration, programming, and collections management of the museum. If
selected to participate in the program, the museum must designate one of the part-time
professional staff members to serve as the project contact and oversee program activities.

PL
E

• be open and providing museum services to the general public on a regular basis (a museum
that exhibits objects to the public for at least 90 days in the preceding year fulfills this
requirement). If a museum is not scheduled to be open to the public 90 days a year, it is still
eligible to participate in CAP if it can demonstrate that it was open at least 90 days in the
preceding year through a combination of scheduled days open and days open by appointment.
• be able to have all of its collections and facilities assessed in a two-day site visit

• be a unit of state, local or tribal government or a private nonprofit institution (federal institutions
are not eligible)
• be located in one of the 50 states of the United States, the District of Columbia, the
Commonwealth of Puerto Rico, Guam, American Samoa, the Virgin Islands, the
Commonwealth of the Northern Mariana Islands, the Republic of the Marshall Islands, the
Federated States of Micronesia, or the Republic of Palau.

SA
M

If a museum has collections too numerous to be assessed within two days or has previously received federally funded assessments, Heritage Preservation, in consultation with the CAP Advisory Committee, reserves
the right to determine whether a museum is appropriate for CAP.
Museums whose collections and/or facilities are too large to be surveyed within two days should
apply for a general conservation survey grant through the IMLS Conservation Project Support program.
Additionally, museums that wish to have a detailed condition survey of a portion of their collections
should apply for Conservation Project Support. Additional information is available at http://www.imls.gov
or by contacting the IMLS Office of Museum Services at 202-653-4789.
Museums that have had a Historic Structures Report within the past 10 years are not eligible for an
assessment by a historic structures assessor. For a definition of a Historic Structures Report (HSR), please
visit the National Park Service’s HSR Web page at: http://www.nps.gov/hps/tps/briefs/brief43.htm
A museum within a multipurpose public or private nonprofit organization such as a municipality,
university, historical society, foundation, or cultural center may apply on its own behalf for CAP if the
museum:
•
•
•
•

is independently able to fulfill all the requirements for eligibility listed above
functions as a discrete unit within the parent organization
has its own fully segregated and itemized operating budget
has the authority to make application on its own.

When any of the last three conditions cannot be met, a museum should apply through its parent organization and the parent organization should apply for an assessment of all of its collections and historic structures.
vi 2012 CAP Application

ReCAP Eligibility
Museums that participated in CAP seven or more years ago may be eligible to update their CAP assessment. Organizations that received a CAP award before September 30, 2005 are eligible to apply for CAP
in 2012.
In addition to meeting the above eligibility requirements, ReCAP applicants must describe their preservation efforts and the need to update their assessments in the application’s ReCAP supplement.

PL
E

An institution that received an IMLS Conservation Project Support grant to conduct a general conservation survey of collections and environmental conditions may also be eligible for ReCAP if the assessment
occurred prior to 1990. Museums must be of an appropriate size to have their entire collection and facilities assessed in a two-day site visit. To help us understand your need for a new assessment, museums
that have received a Conservation Project Support grant for a general survey must complete this
application’s ReCAP supplement on page 11.
Museums should review their original general assessment report carefully before answering the questions
in the application’s ReCAP supplement. If you do not have a copy of your CAP report, contact Heritage
Preservation. In reviewing applications, it may be necessary for Heritage Preservation to request a copy of
the executive summary from the original report.

Assessment Schedule

SA
M

To assist museums in addressing their collection care issues as quickly as possible, CAP now operates on
a one-year schedule. Upon official notification of acceptance into the program, participants will receive
detailed information on how to begin planning their assessments. Site visits may begin as early as
January 1, 2012. All CAP activities must be completed by November 1, 2012 and museums must take this
schedule into account when considering applying to the program.
January 2012 – March 2012: Eligible institutions are identified, receive Program Packets, and are matched
with assessors.
January 2012 – April 2012: Participants interview and select assessors. Museums draw up contracts with
assessors and send Site Questionnaire to Heritage Preservation.
January 2012 – September 2012: Museums have Site Visits with assessors. Assessors confer with museum
to complete the CAP reports.
November 1, 2012: Deadline for final reports to be submitted to museums and to Heritage
Preservation. Program activities for all participants must be finished by this date.

Assessment Costs

Conservation assessment costs include the professional fee(s), travel, and on-site expenses, including lodging and meals, for the assessor(s). These costs are covered by CAP plus your institution’s contributions.
The cost of a conservation assessment varies from institution to institution based on the number of assessors, their professional fees, the distance they must travel to the site, and the cost of lodging, meals, and
other on-site expenses. Assessment costs are generally estimated to be:
• $4,010 for one assessor
• $7,860 for two assessors
2012 CAP Application vii

Allocation Amounts
Heritage Preservation allocates money for each institution’s participation in CAP. Allocation amounts range
from $3,390 to $7,190 and are determined by Heritage Preservation, depending on whether the museum
needs one or two assessors (as explained on page v) and the budget of the institution. The costs to museums
generally range from $430 to $1,020.

Museum Budget

PL
E

Consult the table below to determine how much money Heritage Preservation will allocate for your participation and your estimated costs. Note that the museum expense amounts presented are based on estimates;
some museums may have higher costs, some lower. Once approved to participate in CAP, museums negotiate directly with possible assessors to determine assessment costs. CAP only supports the assessment activities stated above.
1 Assessor
CAP
Estimated
allocation
museum cost

2 Assessors
CAP
Estimated
allocation
museum cost

$3,590

$430

$7,190

$670

$250,000 to $1,000,000

$3,490

$530

$7,020

$850

More than $1,000,000

$3,390

$630

$6,840

$1,020

SA
M

Less than $250,000

viii 2012 CAP Application

Application Information
The purpose of the CAP Application is to provide Heritage Preservation with information about your
institution and its collections and facilities, and:
• determine your institution’s eligibility
• determine the number of assessors (one or two) needed for your institution’s assessment
• assist you in selecting assessors appropriate to your institution’s needs
If clarification is needed to determine an applicant museum’s eligibility, Heritage Preservation will consult
the museum’s brochure/literature or Web site provided with the application or contact the project contact
listed on the application.

PL
E

Online Application Form

To complete the CAP application online, visit www.heritagepreservation.org/CAP/application.html. Click
on the link on this page to access the online form. You may print the online form at any point while you
are working on it. Remember to print the form once it is completed and save the printed copy for your
records. If you opt to complete the application online, do NOT send a paper application to Heritage
Preservation.

Electronic Fill-In Application Forms

SA
M

Application forms are available at www.heritagepreservation.org/cap/application.html in PDF and
Microsoft Word formats for download. You may download the electronic version and, using the free
Adobe Reader, type into the forms on a computer. Although these forms cannot be submitted electronically, they can be completed on the computer and then printed on your printer and mailed. Note that the
PDF forms cannot be saved in Reader, so they must be completely filled in and printed in one operation. In addition, the application Web page has electronic versions of sections 5 and 10 of the application,
which museums may require in multiple copies (see Application).

Steps to Complete the Application

Whether you choose to complete the application online, electronically, or on paper please follow these
instructions:
•
•
•
•
•

Read the entire application before filling it out.
For questions with multiple responses, check all applicable items.
For questions that do not apply to your institution, indicate “N/A” (not applicable) or “none.”
To clarify an answer to a question, include explanations in a brief cover letter.
Refer to the following information about each application section:

Taxpayer Identification Number (TIN)/Employer Identification Number (EIN)/
Data Universal Numbering System (DUNS)
The Taxpayer Identification Number is an identification number issued and used by the
Internal Revenue Service (IRS) in the administration of tax laws. A TIN, also known as a
federal Employer Identification Number (EIN), is a nine-digit number the IRS assigns to business entities.
The IRS uses this number to identify taxpayers that are required to file various business tax returns.
Museum
Information

2012 CAP Application ix

To improve the tracking and statistical reporting for participants in federally funded programs, Heritage
Preservation requires that all applicants for the Conservation Assessment Program provide a Dun and
Bradstreet (D&B) Data Universal Numbering System (DUNS) number. Institutions should verify that
they have a DUNS number or take the steps needed to obtain one. Institutions can receive a DUNS number at no cost by calling the dedicated toll-free DUNS Number request line at 866-705-5711 or by visiting
http://www.dnb.com/us/.
If the applicant museum’s name is different than the museum name registered with DUNS, submit an
explanation on the museum’s letterhead and signed by a museum official. If your museum does not
have both a TIN and a DUNS number, your application will be rejected.
The project contact should be the person who will administer the CAP program for the
institution. They will be in charge of hiring assessors, preparing for the site visit, and talking to CAP staff regarding required materials. The project contact must be a staff member
(volunteer or paid) or board member and included on the staff list on page 4 of the application.
Budget

PL
E

Project
Contact

Budget information should include the museum’s general operating support for the most
recently completed fiscal year.

List the museum’s schedule each day of the week. Include only those hours that the
museum is open and providing services (e.g. tours, education programs, special events) to
the public. If the schedule is seasonal, fill in the months that apply. Refer to the example
below when describing your museum’s open hours:
Hours of
Operation

Mon
_closed_
1- 5pm
_closed_

Tue
_closed_
1 - 5pm
_closed_

Wed
Thurs
Fri
Sat
Sun
_closed_ 1 - 5pm 1 - 5pm 1 - 5pm 12 - 5pm
1 - 5pm 1 - 5pm 1 - 5pm 1 - 5pm 12 - 5pm
_closed_ 1 - 5pm 1 - 5pm 1 - 5pm 12 - 5pm

SA
M

Month to Month
January to March
April to September
October to December

If listing additional dates, only include events that are open to the public. Weddings, board meetings, and
other private events do not count toward the 90-day eligibility requirement.
Describe your museum’s paid and volunteer staff who are responsible for professional
museum activities. Professional museum activities include responsibilities that relate to the
governance, administration, programming, and collections management of the museum.
Your answer should establish how the museum achieves the full-time equivalence needed to be eligible for
CAP. Since job titles vary among museums, please explain each staff member’s responsibilities. Please refer
to the example below when completing the staffing section.
Staffing

Name:_Jane Q. Public_______________________ Title: Museum Director_____ ❑ volunteer ✔
❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon
_0_

Tue
_0_

Wed
_8_

Thurs
_8_

Fri
_8_

Sat
_8_

Sun
_8_

Total
_40_

Responsibilities: Responsible for daily oversight of the museum, collections management, educational programming, and fund-raising.
x 2012 CAP Application

Collections
and
Collections
Records

Answer questions using the following definitions:
• Catalog:

Collections divided into separate meaningful categories with entries that
contain descriptive detail (including physical description, provenance,
history, accession information, etc.) for each object.

• Inventory: Itemized listing of objects for which the museum has responsibility.
Generally, more information is needed to complete a catalog of a collection
than an inventory of a collection.
Complete section 10 for each structure in which collections are located. Include all colFacilities
Information lections storage and exhibition areas.
Supplements: Arboreta, botanical gardens, zoos, aquariums, and ReCAP applicants need to
fill out the Supplement that applies to them on page 9, 10, or 11.

PL
E

Supplements

To be considered for the program, your authorizing official must read and sign the
Assurances (Application, page 12). This page of the application must contain an original
signature. The authorizing official must be an executive member of the museum’s governing body, the head of the sponsoring organization, or the government official responsible for oversight of the museum. In reviewing applications, it may be necessary for Heritage Preservation to request
a list of board members or members of the governing authority. The authorizing official cannot be the
museum’s director or the project contact.
Assurances

SA
M

Proof of Nonprofit Status

You must submit proof of the museum’s nonprofit status with either:
•

a copy of the federal IRS letter indicating the museum’s eligibility for nonprofit status under
the application provisions of the Internal Revenue Code of 1954, as amended.
› If the name on the IRS letter differs from the applicant museum because of a name change,
submit a letter of explanation on the museum’s letterhead and signed by a museum official.
› If the name or TIN on the IRS letter differs from the applicant museum because the IRS
letter of a parent organization is being used, submit a letter explaining the relationship
between the two organizations on the parent organization’s letterhead and signed by an official at the parent organization.

•

(for museums that are a unit of local, state, or tribal government only) a letter identifying the
museum as a unit of government on that entity’s letterhead and signed by an official at that
entity.

Heritage Preservation will not accept a letter of sales tax exemption or a copy of the museum’s tax returns
as proof of nonprofit status.

Application Deadline
2012 CAP Applications must be postmarked, submitted online, or hand-delivered no later than 11:59pm
on December 1, 2011. Heritage Preservation recommends that you submit the application as soon as possible because the number of museums that may participate in the program is limited.

2012 CAP Application xi

Application Review
Heritage Preservation may need to contact you about your application. Delayed responses to staff inquires
may jeopardize your acceptance to the program.

Notification

SA
M

PL
E

Within six weeks of receiving your completed application, Heritage Preservation will notify you of your application status. Heritage Preservation will not cover any costs the museum incurs prior to official notification.

xii 2012 CAP Application

Application Submission
Assembling the Application Package
Before mailing an application to Heritage Preservation, be certain all information is complete. A complete application packet includes the following materials:
❑ Proof of Nonprofit Status (state and sales tax-exempt forms are not acceptable; see page xi)
❑ Museum brochure or literature

PL
E

❑ CAP Application (Sections 1- 11), including:
❑ Section 10 for each additional structure and site, including all collections storage areas
(available online)*
❑ Mission statement (Section 2, page 2)
❑ Staff list with hours and responsibilities (Section 5, page 4 available online)*
❑ Supplement for arboreta and botanical gardens, if applicable (Page 9 available online)*
❑ Supplement for zoos and aquariums, if applicable (Page 10 available online)*
❑ Supplement for ReCAP applicants (with box checked on page 1), if applicable (Page 11 available
online)*
❑ Assurances with original signature. (The authorizing official cannot be the museum’s director and
must be different from the project contact.)
*Visit www.heritagepreservation.org/CAP/application.html to find these materials

SA
M

Please keep the Guidelines for your reference and send only the application portion of this booklet to
Heritage Preservation. Be sure to keep a copy of the completed application for your records.
Sending the Application
Mail or hand-deliver CAP applications to:
Heritage Preservation
CAP
1012 14th Street, NW
Suite 1200
Washington, DC 20005
Telephone: 202-233-0800

Hand-delivered applications will be accepted between 9:00 a.m. and 4:30 p.m. (Eastern time) daily, except
Saturdays, Sundays, and federal holidays.
If you mail your application, it must be postmarked no later than the application deadline of December 1, 2011. If
you submit your application via the online form at www.heritagepreservation.org/CAP/application.html, it must
be submitted no later than 11:59pm on December 1, 2011.
Within six weeks of receiving your completed application, CAP staff will notify you if your museum is eligible
to participate in CAP. If you do not get this notification, contact Heritage Preservation to make sure we received
your application.

E-mailed or faxed applications will not be accepted!
2012 CAP Application xiii

Application
❑ ReCAP Applicant

1. Museum Information

Applicant institution: __________________________________________________________________
Applicant parent institution (if applicable): _________________________________________________
Institutional mailing address: ____________________________________________________________
City: _______________________________________________ County: ________________________
State: _____ Zip: ___________ Closest metropolitan area: ____________________________________
Fax: _____________________________________

PL
E

Phone: ________________________________

Web site: ___________________________________________________________________________
DUNS number: __ __ __ __ __ __ __ __ __
Museum Director/Site Manager:
❑ Mr.

❑ Ms.

❑ Dr.

TIN number: __ __ - __ __ __ __ __ __ __

Name: ________________________________

Title: ____________________________________

Phone: ________________________________

Fax: _____________________________________

E-mail: _____________________________________________________________________________

SA
M

If open seasonally, provide a phone number to reach staff in the off-season: _________________________
Project Contact (please note all CAP correspondence will be directed to this person, who should be
included on the staff list and have regular museum hours):
❑ Check if same as Museum Director/Site Manager (skip to Governing Control of Applicant)
❑ Mr.

❑ Ms.

❑ Dr.

Name: ________________________________

Title: ________________________________________

Phone: ________________________________

Fax: _____________________________________

E-mail: _____________________________________________________________________________
If open seasonally, provide a phone number to reach staff in the off-season: _________________________
Governing Control of Applicant:
❑ state

❑ county

❑ municipal

❑ tribal government
Is the museum university controlled?

❑ private nonprofit

❑ other, specify: __________________________________
❑ yes

❑ no

Heritage Preservation Use Only
Date received:

Heritage Preservation no.:
2012 CAP Application 1

Type of Organization (check one):
❑ aquarium

❑ history museum

❑ arboretum/botanic garden

❑ natural history museum

❑ art museum

❑ nature center

❑ children’s/youth museum

❑ planetarium

❑ general museum*

❑ science/technology museum

❑ historic house/site

❑ specialized museum**

❑ zoo

❑ other _____________________________________________

* A museum with collections representing two or more disciplines equally (e.g., art and history).

PL
E

** A museum with collections limited to one narrowly defined discipline (e.g., textiles, stamps, maritime,
ethnic group).
Museum General Operating Support budgets of the most recently completed fiscal year
Fiscal Year
20______

Revenue/
Support/Income
$_____________

Expenses/Outlays

Budget Deficit
(if applicable)*

$________________ ($________)

Budget Surplus
(if applicable)
$___________

*If the institution has a budget deficit for the most recently completed fiscal year, explain the circumstances
of this deficit. (Attach an additional page if needed.)___________________________________________

SA
M

___________________________________________________________________________________
___________________________________________________________________________________
Museum’s Attendance for the 12-Month Period Prior to Application
On-site: _______________

Electronic: _________________

Year the museum was first open and exhibiting to the public: _______________________
2. Mission

Include the museum’s mission statement or description of museum’s purpose in the space below. (Attach
an additional page if needed.)

2 2012 CAP Application

3. Eligibility
The following are the eligibility requirements for participating in the Conservation Assessment Program.
Check the appropriate answer.

4. Hours of Operation

PL
E

Yes No
❑
❑ Is the museum organized as a public or private nonprofit institution that exists on a permanent
basis for essentially educational or aesthetic purposes?
❑
❑ Does the museum care for and own or use tangible objects, whether animate or inanimate?
❑
❑ Are these objects exhibited to the public on a regular basis through facilities the museum owns
or operates?
❑
❑ Is the museum open and exhibiting to the public at least 90 days a year?
❑
❑ Does the museum have at least one full-time paid or unpaid staff member or the equivalent,
whose responsibilities relate solely to the museum’s professional activities?
❑
❑ Can the museum’s entire collection and buildings be completely assessed within a two-day general assessment?

List the museum’s schedule each day of the week. Include only those hours that the museum is open and
providing services (e.g., tours, education programs, special events) to the public (e.g., 9 a.m. - 5 p.m.). If
the schedule is seasonal, fill in the months that apply (attach additional pages if needed). See page x for an
example answer.
Mon

Tue

Wed

SA
M

Month to Month

Thurs

Fri

Sat

Sun

___________________

________ _______

_______ _______ _______ _______ _______

___________________

________ _______

_______ _______ _______ _______ _______

___________________

________ _______

_______ _______ _______ _______ _______

___________________

________ _______

_______ _______ _______ _______ _______

If the museum is not regularly open at least 90 days a year, list additional dates that the museum was
open outside the normal operating schedule and the reason the museum was open (example: April 1—Girl
Scout troop visit). Attach additional pages if needed.
Date

Event

Date

Event

________________________________________ ________________________________________
________________________________________ ________________________________________
________________________________________ ________________________________________
________________________________________ ________________________________________
________________________________________ ________________________________________
________________________________________ ________________________________________
2012 CAP Application 3

5. Staffing
Describe the institution’s paid and volunteer staff who are responsible for professional museum activities.
Your answer should establish how the museum achieves the full-time equivalence needed to be eligible for
CAP (for more information or an example answer, see page x). Since job titles vary among museums,
please explain each staff member’s responsibilities.
Number of full-time paid staff: _________

Number of full-time unpaid staff:

_________

Number of part-time paid staff: _________

Number of part-time unpaid staff: _________

Director/Site Manager
Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Responsibilities:

Wed

Thurs

________

________

Fri

Sat

Sun

PL
E

Hours per week:

________ ________

Total

________

SA
M

Additional Staff
Include a list of staff and volunteers with their titles, hours worked per week, and responsibilities.
Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Wed

Thurs

________

________

Fri

Sat

________ ________

Sun

Total

________

Responsibilities:

Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Responsibilities:

4 2012 CAP Application

Wed

Thurs

________

________

Fri

Sat

________ ________

Sun
________

Total

Photocopy this page if you require more space for entries.
Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Wed

Thurs

________

________

Fri

Sat

________ ________

Sun

Total

________

Responsibilities:

Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Responsibilities:

Wed

Thurs

________

________

Fri

Sat

Sun

PL
E

Hours per week:

________ ________

Total

________

Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:

Tue

________ ________

Wed

Thurs

________

________

SA
M

(fill in work hours
for each day and
total for week)

Mon

Fri

Sat

________ ________

Sun

Total

________

Responsibilities:

Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Wed

Thurs

________

________

Fri

Sat

________ ________

Sun

Total

________

Responsibilities:

Name:_________________________________ Title:________________________ ❑ volunteer ❑ paid
Hours per week:
(fill in work hours
for each day and
total for week)

Mon

Tue

________ ________

Wed

Thurs

________

________

Fri

Sat

________ ________

Sun

Total

________

Responsibilities:

2012 CAP Application 5

6. Past Assessments
Has your museum received support from:
Conservation Project Support grant?
❑ yes
Conservation Assessment Program?
❑ yes
Museum Assessment Program?
❑ yes

❑ no
❑ no
❑ no

If yes, year: ____________
If yes, year: ____________
If yes, which:
❑ Collections Stewardship ❑ Organizational
❑ Community Engagement ❑ Leadership

PL
E

7. Goals
What goals does the museum have for this assessment? (Check all that apply, and elaborate if there are
areas of special concern.)
❑ Develop a long-range preservation/conservation plan for collections
❑ Improve collections care
❑ Increase staff awareness of collections preservation concerns
❑ Improve the preservation/conservation of the building
❑ Improve environmental conditions
❑ Use as a tool to obtain funding for collections care
❑ Other: _________________________________________________________________________
_________________________________________________________________________
Comments/special concerns: ____________________________________________________________
___________________________________________________________________________________

SA
M

8. Collections Information

Who owns the collections? ______________________________________________________________
Approximately what percentage of your collections are owned by the institution? _______%
Approximately what percentage of the collection is on exhibition? __________%
Has the institution ever engaged a consultant to survey all or part of the collections? ❑ yes ❑ no
If yes, provide year and elaborate briefly: __________________________________________________

Has the institution ever engaged a consultant to survey all or part of the building? ❑ yes

❑ no

If yes, provide year and elaborate briefly: __________________________________________________

Site area: ❑ less than 1 acre

❑ 1-5 acres

❑ 6-10 acres

❑ more than 10 acres

How many buildings does the institution occupy? ____________________________________________
Are they all on the same site? ❑ yes ❑ no
If no, where are the buildings located? ____________________________________________________
__________________________________________________________________________________
How many buildings hold collections (storage and exhibition)? ____________
(Be sure to complete Section 10 for all structures, including collections storage areas)
How many buildings are more than 50 years old? ____________

6 2012 CAP Application

9. Collections and Collections Records
What is the size and composition of the institution’s collections? (Check one box for each line. Categorize collections as specifically as possible and count objects in only one category.)
Collection type

Number of Objects
120

21100

101500

5011,000

1,001- 5,001- 10,000+
5,000 10,000

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

❑
❑
❑

SA
M

PL
E

Archaeology
Arms and armor/weapons
Botany (live)
Botany (herbaria)
Ceramics and glass
Ethnography
Film/sound recordings
Furniture/wood artifacts/wood sculpture
Geology/mineralogy/paleontology
Historic objects
Industrial machinery
Library/archival materials
Metalwork/metal sculpture
Musical instruments
Paintings (panel/canvas)
Photographic materials
Science/technology/medicine
Stone artifacts and sculpture
Textiles and costume
Transportation vehicles
Watercolors/drawings/prints
Wet collections/fluid preserved collections
Zoology (live)
Zoology (other)
Other (specify)
_______________________________
_______________________________
_______________________________

None

Approximately what percentage of the institution’s permanent collection is inventoried? ____________%
Approximately what percentage of the institution’s permanent collection is cataloged?

____________%

(For definitions of these terms see page xi.)

2012 CAP Application 7

10. Facilities Information
Photocopy this section or download from www.heritagepreservation.org/CAP/application.html and
complete for each structure, including collections storage areas. If the facility consists of additions that
function independently or in a significantly different manner from the primary structure, or if the construction, use, or climate control systems are different, complete this section for each addition.
A historic structures assessor will be assigned if structures are more than 50 years old.
_____________________________________________________

Owner:

_____________________________________________________

Original use of structure:

_____________________________________________________

Current use of structure:

_____________________________________________________

Structure size: ❑ < 10,000 sq. ft.

PL
E

Building name:

❑ 10,000 - 25,000 sq. ft.

❑ 25,001 - 50,000 sq. ft.

❑ 50,001 - 100,000 sq. ft.
❑ > 100,000 sq. ft.
Type of structure: ❑ modern building built as a museum
❑ older building built as a museum

❑ older or historic structure not originally designed as a museum

❑ building shared with other non-museum activities
(approximate square footage of museum and storage ___________)
_____________________________________________________

SA
M

❑ other:

Construction date: ❑ 17th century
❑ 1876-1900

❑ 18th century

❑ 1800-1850

❑ 1851-1875

❑ 1901-1925

❑ 1926-1962

❑ other: ______

Additional construction dates: ❑ 18th century
❑ 1876-1900

❑ 1800-1850

❑ 1851-1875

❑ 1901-1925

❑ 1926-1962

❑ other: _______

Number of stories: ___________

Is the building listed on the National Register of Historic Places? ❑ yes

❑ no

If yes, date of nomination: ___________________________

Has a Historic Structures Report (HSR) been completed? ❑ yes
(For more information on HSRs, see page vi.)

❑ no

If yes, date: ___________________________
This structure is used for (check all that apply):
❑ collections storage

❑ exhibits (with artifacts)

❑ office space

❑ other: __________

What is the date of the last building renovation? _____________________________________________
Is the building interpreted as historic? ❑ yes

8 2012 CAP Application

❑ no

Supplement for Arboreta and Botanical Gardens
Read the Guidelines and complete this Supplement in addition to the Application. If desired, attach a written description of your institution and its collections.
1. Collections and Collection Records
How many different plant species does the institution maintain? _______________________________
How many herbarium specimens does the institution maintain? _______________________________
accessioned?

____________%

cataloged?

____________%

PL
E

What percentage of the permanent living collection is:

inventoried?

____________%

What was the date of last inventory? _______________

How often are inventories conducted? ___________________________________________________
Does the institution have a library?

❑ yes

❑ no

If yes, how many volumes? ___________________
2. Facilities Information

What is the acreage of the grounds? _________________

SA
M

Briefly describe the site:______________________________________________________________
Who owns the site? ________________________________________________________________
What percentage of the land is used for:
cultivated collections?

___________ %

natural areas?

___________ %

picnic areas?

___________ %

other: __________________

___________ %

How many buildings are on site:
total

_________________

collections storage

_________________

herbarium specimen storage

_________________

exhibition

_________________

maintenance

_________________

visitor services

_________________

library

_________________

other: __________________

_________________

2012 CAP Application 9

Supplement for Zoos and Aquariums
Read the Guidelines and complete this Supplement in addition to the Application. If desired, attach a written description of your institution and its collections.
1. General Information
Is the institution accredited by the Association of Zoos and Aquariums?

❑ yes

❑ no

If yes, date: _____________

PL
E

AZA accredited institutions are not eligible to have living collections assessed.

2. Collections and Collection Records

How many animals does the institution own? ___________________
How many different species? ___________________
Does the institution have a library? ❑ yes

❑ no

If yes, how many volumes? __________________

SA
M

3. Facilities Information

What is the acreage of the grounds? _______________
Who owns the grounds? ________________________________________________________________
How many buildings are on site: total

10 2012 CAP Application

____________

curatorial/collections storage

____________

exhibition

____________

library

____________

animal housing

____________

visitor services

____________

maintenance

____________

other: __________________

____________

Supplement for ReCAP Applicants
Read the Guidelines on page vii and complete this Supplement in addition to the Application.
Museums previously awarded an IMLS-funded general conservation assessment may be eligible to update
their CAP assessment if seven years have passed since the original assessment, and if the museum has demonstrated the need for an additional general assessment. Organizations that received their IMLS award on
or before September 30, 2005, are eligible to participate in CAP for 2012.
Year Received CAP ______________

PL
E

Check the appropriate boxes:
❑ Yes, the museum has a copy of the previous CAP report(s) and has read them recently.

❑ No, the museum does not have a copy of the previous CAP report(s). If you do not have a copy of your
report(s), please contact Heritage Preservation at [email protected].
❑ Yes, I understand that ReCAP will entail a two-day general assessment of all collections and sites of my
organization.*

SA
M

Answer the questions below:
Describe what collections care efforts your museum has accomplished since your previous CAP assessment
(attach additional pages if needed). If these efforts were funded by grants or donations, please list the name
and source of the grant and/or the source of the donation. Detail which recommendations from the executive summary of your original CAP report(s) have been implemented.

Describe your museum’s need and goals for a new assessment (attach additional pages if needed). If your
museum is still working on recommendations from the original report, explain why and how the ReCAP
assessment will help you meet those goals. If your museum has historic structures(s), please include your
need and goals for a new structural assessment through ReCAP.

* Museums with collections and sites that cannot be completely assessed within two days are ineligible for ReCAP and should
apply for a grant through the IMLS Conservation Project Support program. Museums that wish to have a detailed survey of a
portion of their collections should also consider Conservation Project Support. Information is available at http://www.imls.gov
or by contacting the Office of Museum Services at 202-653-4789.

2012 CAP Application 11

11. ASSURANCES
The applicant organization’s authorizing official should sign the following certification after all other parts of
the application form have been completed.

PL
E

All CAP participants are required to comply with all applicable statutes, ordinances, executive orders,
regulations and other laws including: Title VI of the Civil Rights Act of 1964, as amended; Section 504
of the Rehabilitation Act of 1973, as amended; Title IX of the Education Amendments of 1972, as amended; Age Discrimination in Employment Act of 1975, as amended; Drug-Free Workplace Act of 1988;
Native American Graves Protection and Repatriation Act of 1990; Section 106 of the National Historic
Preservation Act of 1966, as amended; Executive Order 11593; Archaeological and Historic Preservation
Act of 1974; National Environmental Policy Act of 1969, as amended; Executive Order 11514; Executive
Order (E.O.) 11738; Executive Order (E.O.) 11990, as amended by Executive Order (E.O.) 12608;
Executive Order (E.O.) 11988, as amended; the Coastal Zone Management Act of 1972, as amended;
section 176(c) of the Clean Air Act of 1955; Safe Drinking Water Act of 1974, as amended; Endangered
Species Act of 1973, as amended; Wild and Scenic Rivers Act of 1968, as amended; Flood Disaster
Protection Act of 1973, as amended; 45 C.F.R. Part 46; and Laboratory Animal Welfare Act of 1966, as
amended.
Signing this form indicates your commitment to comply with the laws referred to above should your participation in CAP be forthcoming.

SA
M

The Authorizing Official must be an executive member of the museum’s governing body, the head of
the sponsoring organization, or the government official responsible for oversight of the museum. The
Authorizing Official cannot be the museum’s director and must be different from the project contact.

I, the undersigned, certify that all the information contained in this application is true and accurate. I
have been authorized by my Board of Directors to submit this application to the Conservation Assessment
Program. Should my organization be chosen to participate in the program, I will comply with all requirements and guidelines of the Conservation Assessment Program.

_______________________________________________
Signature of Authorizing Official

____________________________
Date

Authorizing Official: Please fill in the information below.
❑ Mr.

❑ Ms.

❑ Dr.

Name: ________________________________

Title: _______________________________

Phone: ________________________________

Fax: ________________________________

E-mail: ____________________________________________________________________________
Mailing address: _____________________________________________________________________
___________________________________________________________________________________

12 2012 CAP Application

Help Us Improve CAP!
Please answer the questions below to let us know how you heard about CAP and provide feedback about
the application. Your responses will not affect your application. If you wish to submit responses anonymously, please go to http://www.formdesk.com/heritagepreservation/CAPApplicationSurvey.
Thank you for your help!

PL
E

Where did you get the information that prompted your interest in this application? Check all that apply:
❑ Heritage Preservation Web site
❑ CAP brochure
❑ From a colleague
❑ Presentation at a national, regional, or state museum association meeting (please specify): _____
❑ Collections care workshop (please specify): _________________________________________
❑ LISTSERV posting
❑ Discussion with CAP staff person
❑ Discussion with an IMLS staff person
❑ IMLS Web site
❑ IMLS publications
❑ Direct mailing
❑ Heritage Preservation Hotline e-alert
❑ Other: _____________________________

SA
M

Where did you obtain your CAP Application?
From Heritage Preservation:
❑ We requested a copy
❑ We received a copy without having requested it
❑ Heritage Preservation Web site
❑ Other: ___________________________________
Please rate each of the following aspects of the CAP Application:
Organization and format:

❑ Excellent

❑ Good

Clarity of guidelines and application process:
Ease of completion: ❑ Excellent

❑ Good

❑ Fair

❑ Poor

❑ Excellent ❑ Good
❑ Fair

❑ Fair

❑ Poor

❑ Poor

Approximately how many hours did it take you to complete this application? _____ hours
How many staff members participated in gathering all the information? _____
Did you need to contact Heritage Preservation staff while completing the application? ❑ yes ❑ no
If you decided not to use CAP’s online application, please state why: ______________________________
Comments on the application process: _____________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
2012 CAP Application 13